0001209191-14-076766.txt : 20141218
0001209191-14-076766.hdr.sgml : 20141218
20141218175909
ACCESSION NUMBER: 0001209191-14-076766
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141216
FILED AS OF DATE: 20141218
DATE AS OF CHANGE: 20141218
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NOVAVAX INC
CENTRAL INDEX KEY: 0001000694
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 222816046
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 20 FIRSTFIELD ROAD
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
BUSINESS PHONE: 240-268-2000
MAIL ADDRESS:
STREET 1: 20 FIRSTFIELD ROAD
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EVANS GARY C
CENTRAL INDEX KEY: 0001191410
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26770
FILM NUMBER: 141297196
MAIL ADDRESS:
STREET 1: 1048 TEXAN TRAIL
CITY: GRAPEVINE
STATE: TX
ZIP: 76051
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-12-16
0
0001000694
NOVAVAX INC
NVAX
0001191410
EVANS GARY C
C/O NOVAVAX, INC.
20 FIRSTFIELD ROAD
GAITHERSBURG
MD
20878
1
0
0
0
Common Stock
2014-12-16
4
M
0
15000
1.48
A
125680
D
Common Stock
2014-12-16
4
M
0
235000
1.03
A
360680
D
Common Stock
2014-12-16
4
S
0
46701
5.7154
D
313979
D
Common Stock
8000
I
See footnote
Stock Option (Right to buy)
1.48
2014-12-16
4
M
0
15000
0.00
D
2015-05-04
Common Stock
15000
0
D
Stock Option (Right to buy)
1.03
2014-12-16
4
M
0
35000
0.00
D
2015-07-20
Common Stock
35000
0
D
Stock Option (Right to buy)
1.03
2014-12-16
4
M
0
200000
0.00
D
2015-07-20
Common Stock
20000
0
D
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.70 to $5.745, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Includes 4,000 shares owned of record by Gary Evans Custodian for Dustin Evans UTMA/TX and 4,000 shares owned of record by Gary Evans Custodian for Casey Evans UTMA/TX.
The 15,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 11/04/2006.
The 35,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 01/20/2006.
Of the 200,000 shares exercised on 12/16/2014 pursuant to this stock option, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $150,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $250,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $350,000,000, and 50,000 shares vested when Novavax, Inc. successfully accomplished a specific strategic initiative.
/s/ John A. Herrmann III, Attorney-in-Fact
2014-12-18